III. Participation in activities
in the Fifth Framework Programme
This section describes the conditions of participation in activities
within the Fifth Framework Programme, the process whereby the Commission
selects among the proposals submitted to it, and the manner in which selected
projects should be carried out.
It is based on the Annex IV of the decision on the Fifth Framework
Programme[10],
the decision on the rules of participation[11],
and other subsequent texts or documents[12].
III.1.1. Who ?
The Framework Programme, with its corresponding financial support,
is open to all legal entities established in the Member States of the European
Union – e.g. individuals, industrial and commercial firms, universities,
research organisations, etc. including SMEs. The Programme is also open to all
legal entities established in any of the other States associated to the
Programme (see box 4).
Participation and financing for legal entities established in other
countries (‘third countries') is governed by common conditions which are
applied throughout the Fifth Framework Programme (see boxes 3 and 4), with the
exception of the Programme ‘Confirming the international role of Community
research’ under which some entities are entitled to receive Community
funding depending on their country of origin[13].
III.1.2. How many?
Proposals submitted to the Commission should demonstrate a Community
dimension. As a general rule, this means that they should involve at least two
legal entities, independent of each other, and established in two different
Member States, or one Member State and one Associated State. (The Joint
Research Centre of the European Commission is considered as a participant of a
Member State).
However, certain actions may vary from this general rule - either by
requiring more participants or by permitting a single one (see box 6).
III.1.3. Role of the participants
Participants in a proposal fall into a number of different legal
categories, according to the type of activity proposed and the nature of a
participant’s role in it (see box 6 and III.5.3.).
III.2.1. call for proposals
Calls for Proposals published in the Official Journal will open
certain parts of a Specific Programme’s Work Programmes for proposals,
indicating what types of actions (RTD projects, Accompanying measures etc.) are
expected. In addition to those with a fixed closing date, the Commission will
open certain Calls on a longer ‘open’ basis, with periodic evaluation of
received proposals. A provisional timetable for the Calls of a Specific
Programme is included in each Work Programme.
A Call may address the full programme, a key action, one or several
research themes, areas, sectors, action lines, objectives, topics. In order to
ensure co-ordination among the Specific Programmes, common Calls may be
published. The objectives to be achieved may also be fully detailed, for
example in the case of key actions or dedicated calls[14].
Proposals submitted under a Call shall be subject to a selection
process presented in section III.4.
Certain Accompanying Measures may however be based on spontaneous
applications or on a call for tender, and shall therefore be subject to a
different process[15].
III.2.2. Submission
Participants should complete the appropriate Proposal Submission
Form corresponding to the type of action involved, preferably using the
software tool that the Commission supplies: The Proposal Preparation Tool or
‘ProTool’, available at the following address: III.3. Proposal evaluation
III.3.1. General principles
The evaluation of proposals will be based on the fundamental
principles of transparency and equality of treatment. The entire selection
process and the description of the criteria by which the proposals will be
evaluated are presented in the Evaluation Manual (see also box 5 and Appendix 6
of Part 2 of this Guide).
In general, and in order to help the Commission, panels of independent, external experts[16] will be constituted
covering a wide range of relevant expertise, without linguistic or geographic
bias. Proposers’ confidentiality will be fully respected, both to avoid
conflicts of interest and to preserve the impartiality of the independent
experts.
III.3.2. Conformity check and eligibility
On receipt, all proposals will be subject to a validation process,
to ensure they conform to the requirements of the Call, of the submission
procedure and of the rules for participation.
Only proposals that conform to these requirements will be subject to
evaluation.
III.3.3. Evaluation
Proposals will be evaluated according to criteria grouped into five
categories, as laid down in the Work Programme applicable to the relevant call.
The content and the respective weighting of the criteria are described in the
Evaluation Manual. Programme specific information on evaluation may also be
explained, if appropriate, in Part 2 of this Guide. Ethical aspects and safety
aspects have to be taken into account in the process.
The experts examine proposals individually, then meet as a panel to
agree a ranking. At this stage, they may recommend that certain proposals
should be combined into larger projects or linked together as clusters (see
section I.3.3).
Following the evaluation, and according to the interest of
Community, the Commission will establish a list of proposals in order of
priority. This list will take
into account the budget available (which has been set out in the call for
proposals) plus, if necessary, a percentage of the call budget to allow for
withdrawal of proposals and/or savings to be made during contract finalisation. Late or ineligible proposals, those of
inadequate quality or for which there is not adequate budget will be subject to
a “non-retained” decision by the Commission. This information, with the main
reason for non-retention, will be communicated to the proposers concerned.
The co-ordinators of proposals, which have been retained, will be
notified in writing. This notification however does not ultimately commit the
Commission to fund the project concerned.
A brief report on the evaluation prepared by the Commission will be
sent to the proposers via the proposal co-ordinator. Further administrative and
financial information will be required to assess the viability of the proposed
project.
Hence, participants will have to demonstrate that they have all the
necessary resources[17]
needed for carrying out the project. The Commission will check these, and may
seek to safeguard its interest by asking for a bank guarantee or by other
measures.
The Commission may also propose modifications to the original
proposal based on the result of the evaluation, or in terms of grouping or
combination with others.
On successful conclusion of these negotiations, the Commission will
then offer contracts for the commencement of work, based on a timetable
determined by the needs of the Specific Programme concerned.
Any proposal, which is finally not taken up, due to a lack of
available funding for example, will be subject to a “non-retained” decision by
the Commission. This information, with the main reason for non-retention, will
be communicated to the proposers concerned.
Contracts are issued to proposals successful in the procedure of
selection.
III.5.1. The various types of contracts
Research contracts from the Commission fall into five main groups.
They each have their own detailed conditions, appropriate to the types of
action and the activities to which they refer. (see boxes 6, 7 and 8).
III.5.2. The subject of the contract
The main obligation of the participants is to carry out the project
to completion in a pre-arranged period, and to make use of or disseminate its
results.
In return, the Commission undertakes to contribute financially to
the realisation of the project, normally by reimbursing a certain percentage of
the project costs[18].
III.5.3. Rights and obligations of participants
These may vary according to the nature of the action or the category
of participant:
·
For Research and Technological Development
(R&D) projects, Demonstration projects and Combined projects, a participant who has a wide-ranging role in the project
throughout its lifetime is normally a principal contractor. A
participant whose role is largely in support of one or several of these
principal contractors is termed an assistant contractor. Principal
contractors are distinguished from assistant contractors in two main ways:
-
all the principal contractors are collectively
responsible to the Commission for the execution of the project and shall use
reasonable endeavours to obtain the expected results;
-
principal contractors have rights of access to
the results of the project and any pre-existing know how. Assistant contractors
have limited rights. (see Box 8)
·
For support for access to research
infrastructure, the host infrastructure is a principal contractor[19], who
is responsible for the implementation of the action.
·
For SME co-operative research projects,
SMEs benefiting from the project are principal contractors. Organisations
performing the research, named RTD performers, are subcontractors and,
as such, are not considered to be "participants"[20].
·
For Exploratory awards, SMEs are principal
contractors.
For both SME
Co-operative research projects and SME Exploratory awards, principal
contractors share responsibility and have the same access to intellectual
property rights. It should be noted that RTD performers, although they
are not considered to be "participants", can have access to the
know-how necessary to perform the research, and, in specific cases, to the
knowledge resulting from the projects (see Box 8).
·
Concerted Actions, Research Training Networks
and Thematic Networks distinguish between the principal
contractor(s)[21]
who lead the action, and the members who are associated with them.
Principal contractor(s)[22]
sign a membership contract with their members, with the prior agreement of the
Commission and in conformity to their own Commission contract, and share with
them joint and several responsibility, in relation to the
carrying out of the project.. This distinction does not
affect intellectual property rights.
·
For Accompanying Measures, the
participants role shall vary according to the nature of the action (see Box 6).
Principal contractors share joint and several responsibility. In Accompanying
Measures specific to technology take-up members can participate.
·
For Fellowships,
the Commission’s contract is normally offered to the host institution, which
then signs an agreement with the Fellow, conforming to the terms of the
Commission’s contract. Exceptionally, in the case of bursaries for Community
Researchers (INCO 2), the Commission contract may be with the individual
personally. In general, intellectual property rights shall be addressed in the
agreement signed with the individual and according to the national legislation
of the host institution.
Participants in an action may conclude between themselves any
agreements necessary to the completion of the work, provided these do not
infringe on their obligations as stated in the contract they sign with the
Commission.
III.5.4. The co-ordination of the project
Within a consortium, participants shall designate one of the
principal contractors to carry out the co-ordination function[23].
The co-ordinator is the liaison between the participants and the
Commission, responsible for collecting, integrating and submitting project
deliverables, and for distributing the funds received from the Commission.
The costs incurred by the co-ordinator in the fulfilment of his
responsibilities can be claimed as direct or indirect costs (see boxes 6 and
7).
It should be noted that the successful management of the project is
a joint commitment of all the participants. They may however agree amongst
themselves to confer upon the co-ordinator additional responsibilities,
provided this does not infringe on their obligations as stated in the contract
they sign with the Commission.
III.5.5. Subcontractors
Sub-contractors are not participants in a project. Their function is
only as service providers to a principal contractor, an assistant contractor or
a member, who fully funds their activity. The costs are then reimbursable by
the Commission according to the rules of the contract in force.
Sub-contractors make no financial investment in the project, and
they therefore do not benefit from any intellectual property rights arising
from its achievements (see boxes 6 and 7).
In order for the Commission to verify the execution of the contract,
participants are required to submit, via the co-ordinator interim and final
reports as well as reports of costs incurred.
These reports will be analysed by Commission services in the light
of the criteria, which led to the original selection of the proposal This will
ensure the project conforms to the conditions associated with the Community
financial contribution, and that the progress foreseen actually takes place.
The reports are also used to assess whether and in what manner the project
should continue to be supported.
In addition, and conforming to objectives stated in the Fifth
Framework Programme decision concerning the use and dissemination of results,
the Commission will follow-up the implementation of the results of the project.
Therefore participants are in general required to produce a “Technology
Implementation Plan” indicating how the knowledge gained will be used. The
Commission will ensure, where necessary, the confidentiality of these data.
The Commission undertakes a financial contribution to the work.
With the exception of those cases where the Commission's
contribution takes the form of a lump sum payment, the Commission reimburses
eligible costs incurred by participants as the project progresses. Payment is
made in instalments at regular intervals.
III.7.1. Incurred eligible costs
Participants are required to identify and declare their eligible
costs by the submission of interim and final cost statements based on the
actual costs incurred for the execution of the project. Participants must
retain supporting documents, which justify these costs, for at least 5 years
from the end of each payment, to permit auditing by Commission services or
other institutions, e.g. the European Court of Auditors.
The different categories of costs that are eligible for Commission
funding differ according to type of contract (see Boxes 6 and 7).
III.7.2. Calculation methods
A number of different methods are used to calculate the Commission
funding, depending on the type of action involved and on the participant’s
capacity to identify his incurred costs (see boxes 6 and 7).
For Research and Technological Development projects, Demonstration
and Combined Research and Demonstration projects, three calculation methods are
used: full cost actual overhead (FC), full cost flat rate (FF) and additional
cost (AC).
For Accompanying Measures, one calculation method is used for all
participants. The overhead may be calculated as a flat rate of the personnel
costs and in some cases no overheads may be allowed.
For technology take-up measures not all cost categories may be
allowable.
For Concerted Actions and Thematic Networks, all participants use
the additional cost model (AC), so overheads are calculated as 20% of all
direct costs (except subcontracting).
Use of permanent staff is allowed for all types of organisations if
accurate time records are kept.
III.7.3. Payment of the contribution
The Community contribution is paid in Euro, in a number of regular
instalments based on cost claims submitted by participants with their interim
and final reports.
The Commission may make advance payments at the beginning of the
project, contingent on verification of the participants’ financial standing. In
certain circumstances the Commission may request financial or other guarantees
to ensure the security of any advance payment made. This is particularly
necessary for those shared-cost actions where the participants themselves are
expected to support part of the cost.
The EC carries out a range of activities in support of potential
proposers. These vary as appropriate according to the nature of the Call and
the Specific Programme concerned. Therefore, they are detailed in the Guide
Part 2.
For each programme there is a network of National Contact Points in
Member and Associated States. The National Contact Points can be helpful to
organisations from their country in finding partners from other countries, and
in assisting in procedural or administrative matters. There are a number of
other networks such as Innovation Relay Centres, Euro Info Centres etc., which
potential proposers may also consult.
The European Commission maintains an Infodesk for each programme of
the Fifth Framework Programme for the duration of their Calls. Any questions
concerning the Call not covered in this document nor in the material available
at the programme web site may be directed to the Infodesk, whose address is
included in the Call specific information in the Guide Part 2. The Infodesk
will post any last-minute information concerning the Call on the programme
website, which potential proposers should check periodically for this reason.
The certification service provider has established an EU-wide
support network for proposers in the national languages. Details are given on
the web page relating to this service (#"_Toc469732784">Box 3 - Co-operation with non-EU Countries and International
Organisations
Opportunities for participation
in proposal consortia
In planning a RTD proposal for submission to one
of the programmes or to the key action ‘Improving the socio-economic knowledge
base’, researchers should be aware that it is also open to participation by
entities from non-EU countries and to international organisations. The opening
falls into three categories and in all cases, the third country/international
organisation participant must be included as a participant in the original
proposal submitted:
(i) Countries associated to FP-5: For each
of these countries, institutions may participate and be funded, with similar rights
and responsibilities to EU Member State participants, once the Association
Agreements come into force (see box 4).
(ii) Project by project participation:
This participation will be on a self-financing basis and this option is open to
all non-associated European countries, to Mediterranean partner countries, to
countries with which the EU has an S&T Agreement, and to international
organisations, as long as the participation is in conformity with the
interest of the Community.
(iii) All other countries: For countries
not covered by the above categories, participation in FP-5 projects on a
self-financing basis will be possible if the participation is in conformity
with the interest of the Community and is of substantial added value
for implementing all or part of the specific programme. The interest of the
Community and the substantial added value must be clearly indicated in the
proposal.
The conformity with the interests of the
Community will be assessed with particular regard to the contribution to one
or more of the following (as laid down in Council Decision): the needs of other
Community policies in support of which the RTD actions are carried out;
providing appropriate incentives for maintaining and creating jobs in the
Community; promoting sustainable development and improving the quality of life
in the Community; strengthening the international competitiveness of Community
industry; the existence of S&T co-operation agreements between the
Community and third countries or international organisations.
Substantial added value may refer for example to cases where the third country participant
is a generally recognised, top-level specialist in the field of the proposal or
has access to unique resources which are of great importance to the project but
which are not available in Europe, or where third country participant offers
the prospect of opening new markets for the European participants.
In exceptional cases, Community financing for the
third country participant or international organisation may be provided by the
programme if it is essential for achieving the objectives of the project1,
i.e. if the contribution of the participant cannot be provided by any other
means and the project cannot be carried out without that participant.
For country groupings,
see box 4
1 Additional rules
are foreseen in the Specific Programme “Energy, environment and sustainable
development” which provide for financial support to those entities where
their participation is beneficial and offers added value for achieving the objectives
of the Programme.
For latest information on entry into force of
these agreements, please consult: www.cordis.lu/fp5/src/3rdcountries.htm or
contact the Programmes' Information Desk
Associated
States
may
participate
with
Community
funding
|
CANDIDATES
FOR EU-
MEMBERSHIP
|
BULGARIA, REPUBLIC OF
CYPRUS, CZECH REPUBLIC, ESTONIA, HUNGARY, LATVIA, LITHUANIA, POLAND, ROMANIA,
SLOVAKIA, SLOVENIA : in force.
For Malta and Turkey, please
see footnote 3 and 4
|
EFTA-EEA
|
ICELAND,
LIECHTENSTEIN, NORWAY: in force.
|
OTHERS
|
ISRAEL : in force.
SWITZERLAND 2 : entry into force
expected on the 1.1.2001.
|
Third
States 6
may
participate
without
Community
funding
(exceptionally
with Community funding
when duly
justified as being essential for achieving the objectives
of the
project)
|
OTHER
EUROPEAN
|
ALBANIA,
BOSNIA-HERZEGOVINA, FORMER YUGOSLAV REPUBLIC OF MACEDONIA, SWITZERLAND 2
MALTA 3 and TURKEY
4 are also shown under Mediterranean Partnership.
MICROSTATES AND
TERRITORIES IN EUROPE5
|
EUROPEAN
NIS
|
ARMENIA, AZERBAIJAN,
BELARUS, GEORGIA, MOLDOVA, RUSSIA, UKRAINE.
|
MEDITERRANEAN
PARTNERSHIP
|
ALGERIA, EGYPT,
JORDAN, LEBANON, MALTA3, MOROCCO, PALESTINE
AUTHORITY, SYRIA, TUNISIA, TURKEY4.
All above countries
may participate project by project if in conformity with the interests of the
Community and on a self financing basis.
|
COUNTRIES
WITH
CO-OPERATION
AGREEMENT
|
ARGENTINA
(1st activity of FP5), AUSTRALIA (1st activity of
FP5), CANADA (1st activity of FP5), CHINA (1st
activity of FP5), SOUTH AFRICA (FP5), USA (FP5) : in force.
RUSSIA (1st
activity of FP5):
Agreement
signed.
The above countries
may participate in the fields covered by the Co-operation Agreement, once in
force, and on a self financing basis (until then, Russia may participate as
an European NIS).
|
ANY OTHER
COUNTRY
|
May participate
project by project if in conformity with the interests of the Community and
on a self financing basis, only if its participation is also of substantial
added value for implementing all or part of the specific programmes in
accordance with its objectives..
|
INTERNATIONAL
ORGANISATIONS 7
|
May participate
project by project if in conformity with the interests of the Community and
on a self financing basis.
|
Participation from third States and of
International Organisations must take place together with the minimum number of
legal entities from the Community and any Associated States.
1 Different rules apply
for the specific programme ‘Confirming the international role of Community
research’ (except for Associated States) and the EURATOM Framework
Programme
2 According to Swiss
authorities, this association agreement could enter into force on the 1st of January
2001 at the earliest. Meanwhile, Swiss legal entities shall be considered as
those of any other third European country.
3 An association
agreement with Malta is foreseen to be negotiated in 2000. Should this
agreement be concluded, the status of Associated State shall take precedence
over any other. Meanwhile, Maltese research entities participate to the
activities of FP5 as “other European”. They are also shown under
Mediterranean Partnership. For
latest news, www.cordis.lu/fp5/src/3rdcountries.htm.
4 Turkish research
entities participate to the activities of FP5 as “other European”. They are also
shown under Mediterranean Partnership. For latest news, www.cordis.lu/fp5/src/3rdcountries.htm.
5 Andorra,
Monaco, San Marino, Vatican City State (Holy See), Faeroe Islands (DK), Channel
Islands (GB), Isle of Man (GB), Svalbard and Jan Mayen Islands (NO).
6 In the case
of a country becoming associated to FP-5, that status takes precedence over any
other
7 Community funding
may also be granted if it is foreseen to use the facilities of an international
organisation that are based in a third country, should this use be essential
for achieving the objectives of the project.
|
|
PARTICIPANT
|
CONTRIBUTION
|
DIRECT COSTS
|
INDIRECT COSTS
|
Principal Contractor
|
Assistant contractor
|
Member
|
Calculation Method *
|
Percentage funding
|
Personnel
|
Durable equipment
|
Subcontracting
|
Travel and subsistence
|
Consumables
|
Computing
|
Protection of knowledge
|
Other specific costs
|
Co-ordination costs
|
Access
|
RTD performer
|
Overheads
|
SHARED COST ACTIONS7
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
R&D project
|
min 2
|
yes
|
|
FC, FF
and AC
|
FC, FF: 50%
AC: 100%
|
Yes
|
yes
|
yes
|
yes
|
yes
|
yes
|
yes
|
yes
|
yes
|
|
|
FC: (actual rate)x(personnel)
FF: 80%x(personnel)
AC: 20%1
|
|
Combined project
|
|
|
|
FC, FF: 35 or 50%
AC: 100%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Demonstration project
|
|
|
|
FC, FF: 35%
AC: 100%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Support for access to
research infrastructures
|
1
|
|
|
AC
|
Up to 100%
|
yes
|
|
yes
|
yes
|
yes
|
yes
|
|
yes
|
|
|
|
20%1
|
|
|
|
|
|
UF
|
Up to 100%
|
|
|
|
yes
|
|
|
|
|
|
yes
|
|
|
|
SME co-operative
(CRAFT)
|
min 3 SME
|
|
FC, FF
|
50%
|
yes
|
yes
|
yes
|
yes
|
yes
|
yes
|
|
yes
|
|
|
yes
|
(actual rate)x(personnel)
|
|
Exploratory awards
|
min 2 SME
|
75%2
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TRAINING FELLOWSHIPS
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Marie Curie Host
Fellowships
|
institution
|
|
min 1 fellow
|
Fixed amount
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Marie Curie
Individual Fellowships
|
|
|
1 fellow
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Developing countries
Fellowships
|
|
|
1 fellow
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Fellowships for
Community Researchers
|
fellow
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
SUPPORT TO NETWORK
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Thematic network
|
min 1
|
|
yes
|
AC
|
Up to 100%
|
yes
|
|
yes
|
yes
|
|
yes
|
|
Yes
|
|
|
|
20%1
|
|
Training network
|
1
|
|
min. 4
|
AC
|
Up to 100%
|
|
|
|
|
|
|
Yes
|
|
|
|
|
20%1
|
|
CONCERTED ACTIONS
|
min 1
|
|
yes
|
AC
|
Up to 100%
|
yes
|
|
yes
|
yes
|
|
yes
|
|
yes
|
|
|
|
20%1
|
|
ACCOMPANYING MEASURES
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Accompanying measures
3
|
min 1
|
|
|
|
Up to 100%
|
yes
|
yes
|
yes
|
yes
|
yes
|
yes
|
Yes
|
yes
|
yes
|
|
|
yes5
|
|
Euro conference
|
1
|
|
|
|
Up to 100%
|
yes
|
|
yes
|
yes
|
yes
|
|
|
yes4
|
yes
|
|
|
None
|
|
Technology Take-up
|
min 1
|
|
yes
|
|
Up to 100%
|
yes
|
yes
|
yes
|
yes
|
yes
|
yes
|
yes
|
yes
|
yes
|
|
|
yes6
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
*
FC = Full Costs/ FF= Full costs Fixed rate/AC= Additional Costs/ UF = User Fee.
For more information, see Box 7.
1
Direct costs, excluding subcontracting costs
2
Up to maximum of €22,500
3
For subsidies, see the Vademecum on grant management and com pv(98) 1395
4
Organisation costs (see specific Guide for Proposers Part 2)
5
Overhead is calculated as a lump sum of the personnel costs (not exceeding
80%).
6
The eligible cost categories for each of the types of technology take-up
measures are referred to in the relevant Guide for Proposers, Part 2
7
Two alternative contracts are available respectively to the R&D and the
Demonstration. One is the “Deliverables”, by which the contribution is paid in
pre-set amounts and adjusted with the final payment on the basis of actual
costs for the whole contract. The other is the “flat rate” (for projects
estimated less than 100 000 euro) by which the contribution consists of a fixed
amount based on the estimated costs for the work.
Full cost (FC)
The participant can
identify all the direct and indirect costs related to the project. He should be
able to demonstrate that his accounting system enables the identification of
those costs with sufficient precision. FC = total direct costs + actual
overhead rate.
Full costs Flat rate
(FF)
The participant who may
participate on a full costs basis or who can identify his direct costs related
to the project (temporary and permanent staff) but not the indirect costs
linked to the project may elect the overhead to be charged on a flat rate
basis, 80 % of the direct personnel cost.
Additional cost (AC)
- in R&D projects
Subject to the specific
contract terms, the Commission shall only take into account the
project’s additional (non recurrent) costs. AC = total direct additional
costs + x% overhead on direct costs (excluding subcontracting) (for x% see Box
6).
Additional cost (AC)
- in Concerted Actions/Thematic networks and Euroconferences
The Community funding
shall only cover the direct costs necessary for the action, however, costs for
permanent staff are eligible if time records are kept. AC = total direct
additional costs + x% overhead on direct costs (excluding subcontracting) (for
x% see Box 6).
User Fee (UF)
This system is only used
in the context of projects providing access to research infrastructure. It is
based on a "unit cost", which is a fixed composite rate, for each
access. Travel and subsistence costs and a flat rate contribution for general
expenses are added. The participant should be able to demonstrate that his
accounting system enables him to calculate with sufficient precision the
"unit cost". UF = ((unit cost x quantity of access) + travel and
subsistence costs) + 20% overhead.
Costs
categories
A cost shall be
considered as eligible only where it is necessary for and during the project
and is provided for in the contract. It shall be reimbursed if the amount has
actually been spent and recorded in the accounts. No profit may be included.
Personnel costs: subject to the
contract terms, scientific and technical personnel; time devoted to the project
shall be recorded.
Durable equipment: subject to the contract
terms, equipment shall be reimbursed according to a depreciation period (for
computer equipment that cost less than 25.000 Euro the depreciation period is
36 months, for all other equipment the depreciation period is 60 months) and
its use on the project; equipment leased shall be reimbursed without exceeding
the eligible cost if it were to be purchased.
Subcontracting: external services.
Travel and subsistence: travel outside the European Union
or an Associated State needs the prior approval of the Commission, except for
visiting a participant.
Consumables: only project
specific items.
Computing: only project
specific items.
Protection of knowledge: subject to contract terms, only with
prior approval of the Commission
Other specific costs any cost necessary for the
project, not falling within a defined category and having received the prior
approval of the Commission
Co-ordination costs: costs for the
financial/administrative administration (personnel, travel and all other cost
categories apart from subcontracting) incurred only by the co-ordinator
- the financial/administrative co-ordinator in case of split between scientific
and administrative co-ordinator - in order to fulfil his tasks.
Access: only
for Support for access to research infrastructure; user fee related to
visiting scientist.
RTD performer only for SME
co-operative research project; cost of research performed by a
non-participant.
Overheads: subject to
the contract terms, either an actual rate (FC), or a flat rate
(FF) calculated on personnel costs or on the direct additional
costs (AC) excluding subcontracting, or as a lump sum of personnel costs
(Accompanying Measures).
The following table lists the access rights (license on a patent, other
users rights) to knowledge (intellectual property created during the project)
and know-how (pre-existing intellectual property) as a function of the
different types of actions and participants.
|
Knowledge
|
Pre-existing know-how necessary for the
execution of the project or to use its Knowledge
|
Access rights for the execution of the
project
|
Use*
|
Access rights for the execution of project
|
Use
|
Research and technological development
Project
|
Principal Contractor
|
Royalty-free
|
Royalty-free (1) to all knowledge
|
Favourable conditions
|
Favourable conditions
|
Assistant Contractor (2)
|
Royalty-free / Favourable Conditions
|
Favourable Conditions/
Market conditions
(1)
|
Favourable Conditions/ Market conditions
|
/
|
Principal Contractor of the same specific
programme
|
Favourable Conditions
|
Market conditions
|
|
|
Demonstration Project
|
Principal Contractor
|
Royalty-free
|
Favourable Conditions for Exploitation only, to all
knowledge
|
Favourable conditions
|
Favourable conditions for Exploitation only
|
Assistant Contractor (2)
|
Royalty-free / Favourable Conditions
|
Favourable Conditions/ Market conditions
for Exploitation only
|
Favourable Conditions/ Market conditions
|
/
|
Combined R&D/
Demonstration Project
|
Principal Contractor
|
In general, IPR rules for R&D projects shall be
applied to R&D workpackages, and IPR rules for Demonstration projects to
Demonstration workpackages.
If the identification of the various workpackages is
impossible, IPR rules for R&D projects shall apply if the total EC
contribution to the project as a whole is superior to 42,5% of its total cost.
If the figure is equal or inferior to 42,5%, IPR rules for Demonstration
projects shall then be applied.
|
Assistant Contractor (2)
|
SME co-operative Research Project
|
Principal Contractor (SME)
|
Co-ownership (3)
|
Co-ownership (3)
for Exploitation only
|
Royalty-free
|
Favourable Conditions for Exploitation only
|
RTD
performer
(non- participant)
|
Royalty-free
|
|
Royalty-free
|
|
Concerted Action
|
Principal Contractor
|
The knowledge which is suitable for dissemination will
be disseminated
|
Member
|
Networks
|
Principal Contractor
|
The knowledge which is suitable for dissemination will
be disseminated
|
Member
|
Fellowships
|
Host Institution
|
The ownership of knowledge will be determined by the
Host Institution according to the applicable law. The knowledge which is
suitable for dissemination will be disseminated
|
Grant holder
|
Accompanying Measures
|
Principal Contractor
& in particular cases Members
|
The ownership of knowledge will be determined
regarding to the Community financing level. As the case may be, use or dissemination
will prevail.
|
(*) Access rights to knowledge for the purpose of use
are limited to knowledge generated under the project concerned.
(1) Contractors and Assistant Contractors unable to
exploit their own knowledge might grant access rights at reasonable financial
or similar conditions, instead of royalty-free.
(2) More favourable conditions when beneficiary requests
access from its principal contractor or the other assistant contractors of the
latter.
(3) SME Contractors are the owners of all knowledge resulting from the
research work carried out by the RTD performers.
ü Eligible
partners: Check first that you and your partners
are eligible for participation in the Programme (for example: your organisation
must have a registered legal existence, there are minimum consortium conditions
etc.) and also that you are eligible for the particular activity involved (some
activities may be reserved e.g. for SMEs, organisations in particular sectors
of industry….etc.)
ü Specific
actions and RTD objectives: Check that your
proposed work does indeed address an activity included in the current Call.
Ineligible proposals, or proposals not addressing activities open in the Call,
will be excluded from evaluation.
ü Selection
criteria: Any proposal evaluated below the
thresholds will not be considered for funding.
ü Management: Clearly indicate ability for high quality management adapted to the
size of the project.
ü Content: Good proposals show consistency with the five selection criteria.
ü Ethical
issues: Clearly describe any potential ethical
aspects and applicable regulatory aspects of the research to be carried out and
the way they are dealt with according to national regulations.
ü Presentation:
Good proposals are drafted in a clear and easily
understandable way. Good proposals are precise and concise, not “wordy” -
evaluators judge on content, not on number of pages.
ü Results: Good proposals clearly show the results that will be achieved, and
how the participants intend to diffuse or exploit these results.
ü Completeness: Proposals must be complete, as they are evaluated only on the
basis of the written material submitted. Follow the format of the Proposal
Submission Form. You are highly recommended to use the ProTool software
supplied free of charge by the Commission to proposers.
ü Partnership: Partners should discuss and agree beforehand their respective
roles and responsibilities.
ü Contract: Check that the model contract conditions for the type of work that
you are proposing are acceptable for your organisations.
ü Competition:
There will be competition, and a weak element in an
otherwise good proposal might make it lose out to others. Therefore edit your
proposal tightly, strengthen or eliminate weak elements.
Last but not least:
Arrange for your draft proposal to be evaluated
by experienced colleagues before sending it, using the evaluation criteria
described in the Evaluation Manual and in Appendix 6 (PART 2). Use their advice
to improve it before submission.
[1] On the 22/12/98, the Council also decided on the Fifth Euratom
Framework Programme for research and training (CORDIS :
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name="_edn2" title="">[2]
It will also carry out research and development activities conducted by the
Joint Research Centre
[3]
In the Decisions adopting the Specific Programmes, there can be no derogation
from the financial participation rates set out here, with the exception of duly
justified special cases
[4][4] The rates may need to be adjusted in individual cases to comply
with the Community framework for State aid for R&D (O.J. C 45, 17.2.1996)
and with article 8 of the WTO Agreement on subsidies and countervailing
measures (O.J. L 336, 23.12.1994). If the project is supported financially by a
Member State or one of its public bodies, the cumulation rule applies,
according to item 5.12 of the above mentioned Community framework.
[5]
In the special case of legal entities which do not keep analytical accounts,
the additional eligible costs generated as a result of the research will be
financed at the rate of 100 %
[6]
EC funding up to maximum of €22,500
[7]
In the case of industrial host fellowships, this will normally approximate to
50 % of the total eligible costs
[8] Mored detailed information on this area are given in an explanatory
note, available from CORDIS at : [9] The implementation modality “Support for access to research
infrastructure” should not be confused with “Support for research
infrastructures”, which is part of the programme and supports various actions.
The action “Support for access to research infrastructures” is supported by the
horizontal programme “Improving human potential”.
[10] European
Parliament and Council Decision N° 1999/182/EC of 22
December 1998 concerning
the Fifth Framework Programme of the European Community for research,
technological development and demonstration activities (1998-2002)
[11] Council
Decision 1999/65/EC of 22 December 1998 concerning the rules for the
participation of undertakings, research centres and universities and for the
dissemination of research results for the implementation of the Fifth Framework
Programme of the European Community (1998-2002)
[12] Council Decisions on the specific programmes, Commission Regulation implementing the
Council Decision 1999/65/EC concerning the rules of participation, Work Programmes of the specific programmes, model contracts,
Evaluation Manual, …
[13] See the Work Programme of the Specific Programme “Confirming the
international role of Community research” and its corresponding Guide for
Proposers.
[14] Such calls are based on Community need to support certain of its
policies (standardisation, anti-fraud actions…)
[15] See Vademecum on grant management and the rules for public
procurement
[16] Experts shall be selected following a Call for candidates. However,
in exceptional cases, the evaluation process may be conducted without them. The
Commission's services shall however follow the rules set out in the Evaluation
Manual.
[17] These include human resources, infrastructure, financial resources
and, where appropriate, intangible property.
[18] In certain exceptional cases by paying a fixed lump sum.
[19] Anywhere where it is possible for easy reading, the word
“contractor” may be used.
[20] Specific rules related to their participation in this type of
action can be found in the ad hoc information brochure devoted to SMEs.
[21] A single contractor is possible in the case of Concerted Actions,
Thematic and Training Networks
[22] A single contractor is possible in the case of Concerted Actions,
Thematic and Training Network Actions, where he carries out the co-ordinator
role.
[23] This role may in exceptional cases be carried by two contractors,
with one responsible for the scientific co-ordination, and the other
responsible for financial matters (e.g.: if the scientific co-ordinator is unable to receive Community funding due to
his status, his location, his uncertain financial standing, or because he is
unable to distribute funds to participants in due time).
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